iecstd - version 3.1 · web viewvarious changes to reflect the decisions of the october 2004 exmc...

ExMC/238/DV DRAFT Rev IECEx 02

April 2005

INTERNATIONAL ELECTROTECHNICAL COMMISSION

IEC Scheme Framework for Certification to Standards relating to Equipment for use in Explosive Atmospheres -

IECEx 02 - – Equipment Certification Certified Equipment Scheme covering equipment for use in explosive atmospheres, (Rules of Procedure))

DRAFT Rev IECEx 02 – Rules and Procedures

Introduction

This Document proposes the revised version of the IECEx Scheme Rules of Procedure (IECEx 02: 1999) and is based on previous draft document ExMC/199A/CD and includes changes as agreed during both the Joint WG1/WG5 meeting and the IECEx Management Committee meetings held during October 2004, in Brdo Slovenia. This revised draft now aligns with the newly published Revised IECEx Scheme Basic Rules, IECEx 01.

Changes included in this revised draft include:-

1. Various changes to reflect the decisions of the October 2004 ExMC meeting, including rename to “IEC Scheme for certification to standards relating to equipment for use in explosive atmospheres (IECEx Certified Equipment Scheme) Rules of Procedure, however the word “Framework” rather than “Scheme” is proposed in the generic title. In order for the Certified Equipment Scheme to be regarded as an IECEx Scheme operating within the IECEx Framework.

2. Revised flowcharts to clarify available options 3. Clarification that an IECEx CoC may be issued to the current edition of the standard and one

edition prior.4. Provision for the certification of “Licenced Equipment”. 5. Clarification concerning suspension and cancellations6. Others

This document is now submitted for voting by the IECEx Management Committee

We would therefore request that this document be considered and that the voting forms be duly

completed and returned to the IECEx Secretariat by 23 June 2005.

Address:IECEx SecretariatStandards Australia Building286 Sussex Street Sydney NSW 2000Australia

Tel: +61 2 8206 6940Fax: +61 2 8206 6272 Email: [email protected]

Voting Form

IECEx Management Committee Voting on Draft Final Budget 2005

Yes. I agree with the acceptance of the Draft Revision of IECEx 02 reflected in ExMC/238/DV (Comments may be submitted with a Positive Vote)

No. I do not agree with the acceptance of the Draft Revision of IECEx 02 reflected in ExMC/238/DV, for the following reasons:

Signature: _________________________________________

Name: ____________________________________________

Member Body: _____________________________________

Date: _____________________________________________

Please complete and return by 2005 06 23 to:

Mr Chris AgiusIECEx Secretariat

Contact Details:E-mail: [email protected]: +61 2 8206 6940Fax: +61 2 8206 6272

ExMC/238/DVApril 2005

IECEx 02

INTERNATIONALELECTROTECHNICALCOMMISSION

Draft third edition

IEC Framework for Certification to Standards relating to Equipment for use in Explosive Atmospheres -

IECEx 02 – Equipment Certification Scheme covering equipment for use in explosive atmospheres, –

Rules of Procedure

Reference number IECEx 02:

IECEx 02

INTERNATIONALELECTROTECHNICALCOMMISSION

Draft Third edition2005-XX


IECEx 02 - Equipment Certification Scheme covering equipment for use in explosive atmospheres, –

Rules of Procedure

© IEC 200XXCopyright – all rights reserved

No part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from publisher.

International Electrotechnical Commission 3, rue de Varembé Geneva SwitzerlandTelephone: + 41 22 919 0211 Telefax: +41 22 919 03 00 e-mail: [email protected] web http://www.iec.ch

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IECEx 02 © IEC:

CONTENTS

Foreword …………………………………………………………………………………………………………4

Introduction……………………………………………………………………………………………………….5

1 Scope............................................................................................................................... 9 6

2 Normative references.....................................................................................................9 6

3 Definitions........................................................................................................................9 7

4 Governing of the IECEx Scheme................................................................................12 9

5 Principles of the IECEx Scheme.................................................................................12 9

6 Confidentiality.............................................................................................................13 10

7 Participating countries...............................................................................................13 10

8 IECEx instruments......................................................................................................14 11

9 Certification procedure...............................................................................................16 13

10 Use of ExTRs and QARs for National Certification................................................19 16

11 Acceptance of certification bodies and testing laboratories..................................20 17

12 IECEx publications.....................................................................................................25 22

13 Complaints..................................................................................................................26 23

Annex A - Application from a candidate Member Body of the IECEx Scheme to become a participating country in the IECEx Scheme..................................................27 24

Annex B - Declaration by a certification body applying to become an Ex Certification Body............................................................................................................................. 28 25

Annex C - Declaration by an assessment and testing laboratory applying for acceptance as an IECEx Testing Laboratory..........................................................29 26

Annex D - Additional information to be provided by an assessment and testing laboratory in applying for acceptance......................................................................30 27

Annex E Member Body, ExCB and ExTL application forms………………………………………………..34


IECEx 02 © IEC:INTERNATIONAL ELECTROTECHNICAL COMMISSION


IECEx 02 - Equipment Certification Scheme covering equipment for use in explosive atmospheres

IECScheme for Certification to Standards of Equipment for use in Explosive Atmospheres

(IECEx Certified Equipment Scheme)

Rules of Procedure

FOREWORD

TO BE COMPLETED


IECEx 02 © IEC:INTRODUCTION

The IECEx is a single global certification frameworkscheme that consists of:

1. The IECEx Equipment Certification Scheme

2. The IECEx Certified Service Facility Scheme (refer future publication IECEx 03)

based on the International Electrotechnical Commission's International Standards. It caters for differing countries whose national standards are either identical to those of the IEC or else very close to IEC Standards. The IECEx is truly global in concept and practice, reduces trade barriers caused by different conformity assessment criteria in various countries, and helps industry to open up new markets. The goal is to help manufacturers reduce costs and time while developing and maintaining uniform product evaluation to protect users against products that are not in line with the required level of safety.

The aim of the IECEx Certified Equipment Scheme is to ease international trade of Ex equipment eliminating the need for duplication of testing and certification. It is a voluntary scheme that provides an internationally accepted means of proving product compliance with an IEC standard.

Where do you commonly find Ex equipment?Flammable gases, vapours and mists, as well as combustible dusts create potentially explosive atmospheres. Ex equipment in such areas include:

Automotive refueling stations or petrol stations Oil refineries, rigs and processing plants Oil and gas tankers, drilling ships and FPSO (Floating Production Storage Offloading

vessels) Chemical processing plants Printing industries, paper and textiles Hospital operating theatres Aircraft refueling and hangars Surface coating industries Underground coalmines Sewerage treatment plants Gas pipelines and distribution centres Grain handling and storage and processing (flour-milling industry) Woodworking areas Sugar refineries Light metal working, where metal dust and fine particles can appear.

Metal surface grinding, especially aluminium dusts and particles

IECEx Options

The IECEx Certified Equipment Scheme provides both:

1. A single Global Certificate of Conformity, that requires manufactures to successfully complete: -

Testing and assessment of product samples for compliance with IEC Standards; Assessment and auditing of manufacturers premises; On-going surveillance audits of manufactures premises

2. A “fast track” process for countries where regulations still require the issuing of national Ex certification or approval by way of global acceptance of International IECEx product test and assessment reports (ExTR).

IECEx Credibility

IECEx accepts the participation of Ex Certification Bodies and Ex Test Laboratories only after successful completion of the IECEx Assessment Process, which also includes on-going surveillance. Each Ex candidate Certification Body and Testing Laboratory are subjected to the same IECEx assessment process utilizing the internationally established ISO/IEC Standards and Guides on conformity assessment supplemented with the IECEx Technical Guidance Documents with world experts in the field of Explosion-Protection being appointed as IECEx Assessors.


IECEx 02 © IEC:

More Information

Further information is available from the official IECEx Website: www.iecex.com, containing free copies of the IECEx Rules and Procedures, from any of the IEC Ex Certification Bodies or directly from the IECEx Secretariat via the coordinates shown on the IECEx website.

* A testing laboratory and a certification body may be separate or integral. Only those testing labsand certification bodies that are members of the IECEx may issue IECEx Test Reports (ExTRs)


IECEx 02 © IEC:

Overview of IECEx Equipment Certification Certified Equipment Scheme


IECEx 02 © IEC:


IECEx 02 © IEC:IEC Framework for Certification to Standards

relating to Equipment for use in Explosive Atmospheres -

IECEx 02 – Equipment Certification Scheme covering equipment for use in explosive atmospheres

Rules of Procedure

1 Scope

This publication contains the Rules of Procedure of the Scheme of the IEC, hereinafter referred to as the "Rules", for the certification of equipment which is intended for use in explosive atmospheres and which complies with one or more IEC Standards that define the types of protection against causing an explosion (IECEx Certified Equipment Equipment Certification Scheme).

.

A list of current Standards in use is published in the IECEx Bulletin (see 12.3) and on the IECEx Website (www.iecex.com).

These Rules relate to the Basic Rules of the IECEx Scheme, as given in Publication IECEx 01.

NOTE - The IECEx Equipment Certification Scheme is applicable to equipment conforming to IEC and services e.g. Repair and Overhaul, conforming to Standards. prepared by IEC TC31 and its subcommittees, which currently include the following:

- flameproof enclosures “d”(IEC 60079 - 1)

- type of protection ‘p’ (IEC 60079 - 2)

- Powder filling ‘q’ (IEC 60079 - 5)

- oil - immersed apparatus ‘o’ (IEC 60079 - 6)

- increased safety ‘e’ (IEC 60079 - 7)

- intrinsic safety ‘i’ (IEC 60079 - 11)

- electrical apparatus with type of protection ‘n’ (IEC 60079 - 15)

- encapsulation ‘m’ (IEC 60079 - 18)

- repair and overhaul (IEC 60079-19)

- dust proof and dust protected enclosures (IEC 61241-1)

- others, e.g. Trace heating and caplights

2 Normative references

The following publications contain provisions, which, through reference in this text, constitute provisions of these Rules. At the time of publication, the editions indicated were valid. The Ex Management Committee shall decide the timetable for the introduction of revised editions of the publications.

IECEx 01: 1999 2005 , Basic Rules of the IECEx Scheme.

ISO/IEC Guide 2: 1996, Standardization and related activities - General vocabulary .

ISO/IEC 17025: 1999, General requirements for the competence of calibration and assessment and testing laboratories .


IECEx 02 © IEC:ISO/IEC Guide 65: 1996, General requirements for bodies operating product certification systems.

3 Definitions

ISO/IEC Guide 2 gives the basic definitions.

For the purpose of the IECEx Certified Equipment Equipment Certification Scheme, the following definitions apply:

3.1IECEx Certified Equipment Equipment Certification SchemeThe IECEx Scheme of the IEC for the certification of equipment intended for use in explosive atmospheres and applicable to equipment embodying one or more of the types of protection covered by IEC Standards

3.2type or concept of protectionthe specific measures applied to electrical equipment to avoid ignition of a surrounding explosive gas atmosphere.

[IEC 60079-0: 2000]

3.3Ex apparatusitems applied as a whole or in part for the utilization of electrical energy and incorporating one or more types of protection for potentially explosive atmospheres. These include, among others, items for the generation, transmission, distribution, storage, measurement, regulation, conversion and consumption of electrical energy and items for telecommunications.

3.4Ex componenta part of electrical apparatus or a module (other than an Ex cable entry), marked with the symbol "U", which is not intended to be used alone and requires additional certification when incorporated into electrical apparatus or systems for use in potentially explosive atmospheres.

3.5Ex systeman assembly of interconnected items of Ex apparatus for which the interconnection has to be carried out in accordance with the descriptive system document in order to comply with the explosion protection requirements.

3.6Ex equipmenta general term applying to Ex apparatus, Ex components and Ex systems.

3.7IECEx Certificate of Conformity (IECEx CoC)document issued under these Rules indicating that adequate confidence is provided that a duly identified product is in conformity with a specific standard. The certificate can relate to Ex apparatus, an Ex component or an Ex system

ISO/IEC Guide 2: 1996, term 15.5 modified

3.8IECEx Mark of Conformity*-----------

* under development


IECEx 02 © IEC:3.9IECEx Test Report (ExTR)a document issued by an ExTL that includes a documented record of the obtained test and assessment results for endorsement by an ExCB, associated with the issuing ExTL, demonstrating that the examined product type is in conformity with specified Standards.

NOTE According to IECEx 02: 1999, these were known as IECEx Assessment and Test Reports (ATRs) with a complete set of ATR blank forms available for use by the Scheme. These previously prepared ATRs are currently being updated to reflect their new name of “IECEx Test Reports (ExTRs). As an interim measure, previously prepared ATR blank forms may be used where a new ExTR blank form has not yet been issued.

3.10IECEx Quality Assessment Report (QAR)a document that presents the results of an on-site assessment of a manufacturer’s quality management system by an ExCB, to the requirements of the IECEx Equipment Certification Certified Equipment Scheme.

3.11Ex Management Committee (ExMC)the body that administers the operation of the IECEx Scheme and is responsible to the Conformity Assessment Board of the IEC.

3.12Ex Testing and Assessment Group (ExTAG)the body, which deals with questions of practice relating to assessment and testing under the IECEx Scheme and is responsible to the Ex Management Committee.

3.13Member Body of the IECEx Schemea body which has been accepted according to the Basic Rules of the IECEx Scheme, Publication IECEx 01 and to these Rules of Procedure, and which is either a National Committee of the IEC or a body notified to the ExMC by the National Committee of the IEC.

3.14Ex Certification Body (ExCB)a body which has been accepted according to these Rules and which issues IECEx Certificates of Conformity, IECEx Quality Assessment Reports and also endorses IECEx Ex Test Reports.

3.15ExTesting Laboratory (ExTL)a testing laboratory which is accepted according to these Rules and which is either integral with, or under the complete control of, or belongs to or works under a written agreement with at least one for an Ex Certification Body.

3.16national differencesthose requirements or test parameters in the corresponding national standard which, when applied to equipment complying only with the IEC Standard accepted for use in the IECEx Scheme, might entail non-compliance of that equipment with the relevant national standard.NOTES

1 When a requirement in the IEC standard is not implemented in the corresponding national standard, that is also a national difference.

2 Those restrictive requirements in a national standard, which do not deviate from the criteria included in the corresponding standard accepted for use in the IECEx Scheme, but which limit the possibility to offer the relevant equipment for sale in the country concerned, are also considered to be national differences.

3.17applicanta firm or a person who applies to an Ex Certification Body for obtaining an IECEx Certificate of Conformity, an IECEx Test Report or an IECEx Quality Assessment Report.


IECEx 02 © IEC:3.18manufactureran organization, situated at a stated location or stated locations, that carries out or controls such stages in the manufacture, assessment, handling and storage of a product that enables it to accept responsibility for continued compliance of the product with the relevant requirements and undertakes all obligations in that connection.

3.19IECEx Bulletinbulletin, issued at intervals decided by the Ex Management Committee, containing detailed technical and procedural information about the IECEx Scheme.

3.20IECEx Register register, issued at intervals decided by the Ex Management Committee, containing information on all ExCBs and ExTLs and listing all IECEx CoCs.

3.21IECEx Newsletter newsletter, issued at intervals decided by the Secretary of the Ex Management Committee, to promote the IECEx Scheme amongst users and prospective users of the Scheme and to inform users of significant developments of the Scheme.

4 Governing of the IECEx Scheme

The IECEx Scheme shall be governed by the Ex Management Committee (ExMC), whose responsibilities in this respect are defined in the Basic Rules of the IECEx Scheme, Publication IECEx 01.

This document, (IECEx 02) sets out the general rules and procedures of the IECEx Equipment Certification Certified Equipment Scheme. These general rules are supplemented by the Scheme’s Operational Documents. These Operational Documents are available to all IECEx Member Bodies, ExCBs and ExTLs, including candidate ExCBs and ExTLs and to manufacturers and Service providers that have applied for either an IECEx CoC, IECEx TR or IECEx QAR.

5 Principles of the IECEx Equipment Certification Scheme

5.1 IECEx Certificate of Conformity (IECEx CoC)

The IECEx Equipment Certification Certified Equipment Scheme provides the means for manufacturers of Ex equipment to obtain certificates of conformity that are intended to be accepted in all participating countries as equivalent to their national certification. An IECEx CoC may also be accepted in other non-participating countries. An IECEx CoC may be obtained from any ExCB accepted into the Scheme. The certificate will attest that the equipment’s design conforms to the relevant IEC Standards and that the manufacturer is manufacturing the product under a quality system and associated quality plan(s), meeting the requirements of this Scheme and under the surveillance of an ExCB. The IECEx quality system requirements are based on ISO 9001, with additional requirements specific to the design, manufacture and testing of Ex equipment.

The IECEx CoC may be issued for a product with its variety of types, including different processes and electrical connections, different temperature classes, different types of protection, etc.

NOTE: It is intended that manufacturers holding certificates of conformity may affix the IECEx Mark of Conformity* to equipment that they have verified as complying with the certified design. The provision of an IECEx Mark of Conformity is under development


IECEx 02 © IEC:5.2 Method of Application

An application for a country to participate in the IECEx Scheme is made on a standard-by-standard basis by the candidate Member Body of the IECEx Scheme for that country. The application is made to the Secretary of the ExMC. Certification bodies and testing laboratories wishing to be accepted into the Scheme must reside in an IECEx participating country. Their application to be accepted is made through the Member Body of the IECEx Scheme for the country in which they reside.

5.3 Acceptance

Certification bodies and assessment and testing laboratories are accepted into the IECEx Equipment Certification Certified Equipment Scheme following satisfactory assessment of their competence by assessors appointed by the ExMC as providing adequate confidence to regulatory authority, user, manufacturer and certification body interests. Competence is judged by reference to ISO/IEC Guide 65 and ISO/IEC 17025 and IECEx Technical Guidance Documents.

5.4 Permissions

ExCBs are permitted to issue endorsed IECEx ExTRs, QARs and IECEx CoCs.

5.5 Exchange of IECEx CoCsExCBs located in countries that cannot yet accept IECEx CoCs or whose national Standards are not yet identical to the IEC Standards, shall accept for review IECEx ExTRs and QARs for the purposes of issuing local and/or national certification, thereby providing a “fast track” path to local and/ or national certification.

Where relevant competence of the issuing body has been identified by the ExCB of the accepting country, ExTRs may cover national differences of the accepting country where they are in addition to the requirements of the IEC Standard. An ExCB receiving an ExTR or QAR may review the documentation for completeness. Should the ExCB receiving an ExTR or QAR believe it to contain errors, the receiving ExCB shall contact the issuing ExCB before taking any action.

5.6 Objective

The final objective of the IECEx Equipment Certification Certified Equipment Scheme is worldwide acceptance of one standard, one certificate and one mark.

6 Confidentiality

All those participating in the IECEx Equipment Certification Scheme shall respect the confidentiality of any information that they obtain and take all reasonable steps to bind their staff and those working under contract to preserve that confidentiality. The effectiveness of such steps taken shall be evaluated as part of the IECEx assessment of the ExCB and ExTL.

7 Participating Countries; Participation

7.1 Participation

In order for a country to participate in the IECEx Scheme, the candidate Member Body of the IECEx Scheme shall make an application to the Secretary of the ExMC. in the form of Annex A.


IECEx 02 © IEC:7.2 National differences

The candidate Member Body of the IECEx Equipment Certification Scheme shall specify national differences from the IEC standard(s) in the application.

7.3 Participating country

Once the ExMC has approved the application, the country shall be deemed to be a participating country.

7.4 Changes

The Member Body of the IECEx Equipment Certification Scheme shall notify the ExMC of any changes in the national differences declared in its application.

7.5 Termination

The ExMC may terminate a country's participation in the IECEx Equipment Certification Scheme if the Member Body of the country persists in a breach of these Rules after due warning by the ExMC to the Member Body of the IECEx Equipment Certification Scheme.

7.6 Cancellation

In the event of a country’s ceasing to be a participating country, the ExCBs in that country shall lose the right to issue new IECEx CoCs or QARs and ExTRs. IECEx CoCs shall remain valid for a period of 6 months following which they shall be cancelled.

ExTRs previously issued shall remain valid. QARs shall remain valid for a period of 6 months. Within this period the manufacturer shall seek an alternative ExCB that accepts to maintain the validity of the QARs.

8 IECEx instruments

8.1 IECEx Certificate of Conformity

8.1.1 IssueAn IECEx Certificate of Conformity is issued by an ExCB, on the basis of an ExTR and QAR, certifying that the type of Ex equipment identified on the Certificate conforms in all relevant respects with the current edition or 1 past edition of the IEC standard(s) specified on the Certificate and that the manufacturer named on the Certificate manufactures the product under a quality system and associated quality plan(s) complying with the requirements of this Scheme, as a means of providing adequate confidence that the Ex equipment will be produced in conformity with the design of the certified equipment. An upgrading of existing CoC´s after publishing of a new edition of an IEC standard is not required unless otherwise determined by ExMC.

If an amendment to the certification is requested then the complete apparatus must be brought up to the current edition of the standard .standard An IECEx CoC is issued by an ExCB, on the basis of an ExTR and a QAR, certifying that the type of Ex equipment identified on the Certificate conforms in all relevant respects with the IEC standard(s) specified on the Certificate and that the manufacturer named on the Certificate manufactures the product under a quality system and associated quality plan(s) complying with the requirements of this Scheme, as a means of providing adequate confidence that the Ex equipment will be produced in conformity with the design of the certified equipment .

8.1.2 Layout

The ExMC shall decide on the layout and content of IECEx CoCs


IECEx 02 © IEC:8.1.3 Contents

The IECEx CoC shall contain at least the following information:

clear description of the Ex equipment,

the name and address of the manufacturer

the IEC Standard, edition and amendments, if any

reference to the supporting ExTR

Ex marking requirements

Name of the issuing ExCB

Conditions of safe use, if any

List of certification drawings used to obtain the certification

8.2 IECEx Ex Test Report (ExTR)

8.2.1 Preparation

An ExTR is prepared and issued by an ExTL but must be in line with Guide 65 and for the purpose of issuing a IECEx CoC shall be reviewed and endorsed by an ExCB recording the product design assessment, examination and assessment and testing work carried out in order to verify the conformity of Ex equipment with the requirements of the stated Standards. The ExMC shall develop and maintain standard ExTR blank forms for all Standards used in the IECEx Certified Equipment Equipment Certification Scheme. An allocated part of the front cover sheet of the ExTR or a separate she may be used by the ExCB for endorsing the ExTR.

8.2.2 Description of equipment

The ExTR shall contain a clear description of the Ex equipment or change to already certified equipment, the name and address of the applicant and the manufacturer and the edition of the IEC standard, and amendments, if any. It shall give, as far as necessary, for each clause of the relevant standard a brief reference to the requirements, and the results of tests and examinations. The ExTR shall also contain the information necessary for identification of the Ex equipment such as type designation, ratings, description and photographs.

8.2.3 Layout

The ExMC shall decide on the layout and content of ExTRs.

8.2.4 Issue

ExTRs are intended to be issued in support along with of an IECEx QAR and IECEx CoC. However, an An ExTR may be issued on it’s own without the issue of an IECEx CoC or QAR, providing the ExTR is endorsed by the ExCB associated with the ExTL. The ExTR, where they are in addition to the requirements to the IEC Standard, may include evaluation of the Ex equipment for conformity with declared local and/or national differences, and may be used by other ExCBs when issuing their own local and/or national certification.

8.2.5 Restrictions

Because ExTRs are transitory documents used in the preparation of IECEx CoC, they shall not be used in any form of advertising or sales promotion in order that the information is not misrepresented.

8.2.6 Copies

When a copy of an ExTR is required, it shall be reproduced in its entirety.


IECEx 02 © IEC:8.2.7 Ensuring conformity

The manufacturer has the responsibility to ensure that all Ex equipment for which an IECEx Test Report (ExTR) is issued is in conformity with the design of the certified equipment. Failure to do so, and any other misuse of the ExTR could lead to suspension or cancellation of the associated IECEx CoC by the ExCB.

8.3 IECEx Quality Assessment Report

8.3.1 Content

A QAR is prepared and issued by an ExCB recording the assessment of a manufacturer’s quality system for compliance with the Ex Quality system requirements of the IECEx Equipment Certification Certified Equipment Scheme, used to ensure the on-going compliance of Ex products with those characteristics that are covered by the ExTR. The assessment includes assessing conformity of the manufacturer’s documented quality system with the requirements of the IECEx Equipment Certification Certified Equipment Scheme in addition to assessing the implementation of the quality system by the manufacturer. A QAR has a limited duration (3 years) and can be withdrawn or suspended if intermediate follow-up assessments are not satisfactory. ExCB shall pass a copy of the details of the QARs to the ExMC Secretary who shall maintain a central registry and list of QARs. The ExMC secretary shall be informed, without delay, of any suspension or cancellation of QARs.

8.3.2 Layout

The ExMC shall prepare a document detailing quality requirements for the Scheme and the layout and content of QARs.

8.3.3 Issue

ExCBs may issue the QAR for the purpose of acceptance by other ExCBs in the national certification of the equipment. The QAR shall refer to a specific manufacturing site(s).

8.3.4 Restrictions

The QARs are documents used in the preparation of IECEx CoC and basis for on-going production; they shall not be used in any form of advertising or sales promotion in a way that the information may b e misinterpreted represented .

8.3.5 Copies

When a copy of a QAR is required, it shall be reproduced in its entirety.

8.4 IECEx Mark of Conformity

* Under development

9 Certification procedure

9.1 Applicant

An applicant may make an application for an IECEx CoC to any ExCB for the relevant standard(s). The applicant may be a manufacturer or may act on behalf of a manufacturer. In the latter case, evidence shall be submitted that the applicant is authorized to act on behalf of the manufacturer for the application and that the manufacturer undertakes to abide by the Rules and obligations of the IECEx Scheme. The Certificate shall be issued in the name of the manufacturer .


IECEx 02 © IEC:9.2 Documentation

The documentation submitted by the applicant shall accurately identify the Ex equipment for which certification is required, the standard(s) to which certification is to be granted, and the manufacturer responsible for the conformity of production items with the design of the certified equipment.

The documentation may be provided in paper form or electronic format. If electronic format is used, it shall be provided in a commonly used file format as determined by the ExMC, e.g. PDF or TIFF on a commonly used storage medium, e.g. 3.5” disk, CD-Rom, DVD-Rom

9.3 Samples

The applicant shall supply the documentation necessary to specify the explosion protection features of the Ex equipment. The applicant shall supply such samples of the Ex equipment as the ExCB deems necessary.

9.4 Examination

The ExCB shall arrange for its associated ExTL to examine the documentation and the sample(s) to verify that the Ex equipment design is in conformity with the standard(s). The ExTL shall examine the sample(s) for compliance with the documentation, test the sample(s) as specified in the standard(s) and compile an ExTR.

9.5 Manufacturer’s Quality Management System

9.5.1 AssessmentThe manufacturer can apply at any ExCB for the assessment of his quality management system (QMS) .The ExCB shall assess the conformity of the QMS and associated quality plan(s) relevant to the Ex equipment requested, with the requirements of the IECEx Scheme. In order to demonstrate how the quality system ensures that equipment is manufactured in conformity with the requirements, the manufacturer shall provide the ExCB with a copy of a quality plan for the ex equipment or equipment categories to be listed on the QAR. The manufacturer may provide evidence of the suitability of the quality system such as certification/registration to ISO 9001 by a competent body. The ExCB shall take the evidence into account when deciding the extent of the assessment that it needs to conduct. The assessment shall include an “onsite assessment” at the manufacturer’s premises to confirm implementation of the quality system and associated quality plan(s). The ExCB shall issue an IECEx QAR.

9.5.2 Surveillance

The issuing ExCB sign an agreement with the manufacturer to enable the ExCB to carry out, or arrange for another ExCB body to carry out on its behalf, periodic surveillance of the manufacturer's quality system and quality plan(s) which shall include onsite assessments at the manufacturer’s premises as well as periodic examination and, if indicated to be necessary, assessment and testing of representative samples of certified Ex equipment. The frequency of such surveillance, inspection and assessment and testing shall be determined by the issuing ExCB in accordance with the IECEx Certified Equipment Scheme requirements and in light of the effectiveness of the manufacturer's quality plan(s). Such frequency shall take into account whether the manufacturer holds current ISO 9001 certification/registration by a competent body.


IECEx 02 © IEC:9.6 Review of the QAR Assessment of Manufacturer’s Quality System

9.7 An ExCB shall review the summary report of the current QAR to ensure, that it covers the manufacturing location, the type of product and the type of explosion protection of the equipment to be certified . Assessment of Manufacturer’s Quality System

9.8 An ExCB shall assess the conformity of the manufacturer's quality system and associated quality plan(s) relevant to the Ex equipment listed on the IECEx CoC with the requirements of the IECEx Certified Equipment Scheme. In order to demonstrate how the quality system ensures that equipment is manufactured in conformity with the design of the certified equipment, the manufacturer shall provide the ExCB with a copy of a quality plan for the Ex equipment to be listed on the IECEx CoC. The manufacturer may provide evidence of the suitability of the quality system such as certification/registration to ISO 9001 by a competent body. The ExCB shall take the evidence into account when deciding the extent of the assessment that it needs to conduct. The assessment shall include an “onsite assessment” at the manufacturer’s premises to confirm implementation of the quality system and associated quality plan(s). The ExCB shall issue an IECEx QAR.

9.9 Completion

Upon satisfactory completion of the work, the issuing ExCB shall review and endorse the ExTR and QAR and one copy sent to the ExMC Secretary. If the review of the QAR was satisfactory, the which together with an IECEx CoC shall be issued to the applicant, with a copy of each being retained by the ExCB. The manufacturer and the ExCB shall each retain a set of the documentation referred to in the certificate. The ExCB shall send a copy of the Certificate to the Secretary of the ExMC along with details of the ExTR and QAR.

9.10 Surveillance

The issuing ExCB sign an agreement with the manufacturer to enable the ExCB to carry out, or arrange for another ExCB body to carry out on its behalf, periodic surveillance of the manufacturer's quality system and quality plan(s) which shall include onsite assessments at the manufacturer’s premises as well as periodic examination and, if indicated to be necessary, assessment and testing of representative samples of certified Ex equipment. The frequency of such surveillance, inspection and assessment and testing shall be determined by the issuing ExCB in accordance with the IECEx Certified Equipment Scheme requirements and in light of the effectiveness of the manufacturer's quality plan(s). Such frequency shall take into account whether the manufacturer holds current ISO 9001 certification/registration by a competent body.

9.11 Changes

If the manufacturer wishes to make a change to the certified Ex equipment, controlled by the ExTR, where the explosion protection is involved, he shall apply to the ExCB which granted the IECEx CoC, describing the change and the measures adopted to ensure continuing conformity with the relevant standard(s). The ExCB shall arrange for such work as is necessary to be carried out to verify that the Ex equipment incorporating the change will still conform to the standard(s). The ExCB shall issue an addendum to the Certificate authorizing the change. The ExMC shall specify the layout and content of the addendum. The ExMC shall determine the extent of the change that can be accommodated using an addendum to the original Certificate. .

.


IECEx 02 © IEC:9.12 Ensuring conformity

The manufacturer has the responsibility to ensure that all Ex equipment to which the IECEx Mark of Conformity* is affixed and all Ex equipment that is described as "IECEx certified" is in conformity with the design of the certified equipment. Failure to do so, and any other misuse of the Mark or IECEx CoC, could lead to suspension or cancellation of the IECEx CoC by the ExCB.

9.13 Certification procedure for licenced equipment

Equipment produced or sold under licence by a second manufacturer ( licensee) and with a new product name can be certified in the name of the licensee based on the certificate of the original manufacturer (licensor). Based on a licence agreement, the licensee can apply for the certificate referring to the ExCB’s technical documentation of the original certificate of the licensor. Both manufacturers must provide a current and relevant QAR:

9.14 Documentation retained

In placing an application with an ExCB, the manufacturer authorises the ExCB to keep for future reference photographs, technical documentation and, by agreement with the applicant, samples or, for large equipment, parts of such equipment. Such reference material shall be confidential.

9.15 Surcharges

An applicant who is not in an IECEx participating country and an applicant acting on behalf of a manufacturer in such a country shall pay a contribution to the costs of the IECEx Scheme in the form of a surcharge for each application, the amount to be decided by the ExMC. The surcharge is to be collected by the Ex A CB handling the application, and remitted to the IECEx account.

9.16 Suspension or cancellation

An IECEx CoC may be suspended or withdrawn by the issuing ExCB if

it has been issued in error,

the holder requests cancellation,

it is used in a misleading way,

the Ex equipment no longer corresponds to the design of the certified equipment, or the QAR no longer adequately covers the relevant Ex equipment

The assessment by an ExTL has been found to be deficient

The equipment design cannot be considered as explosion protected

the manufacturer's quality system and associated quality plan no longer provides adequate confidence that Ex equipment will be produced in conformity with the design of the certified equipment.

The ExCB shall give due notice to the manufacturer of such suspension or cancellation and shall give the reason(s).

While a Certificate is suspended or when it has been withdrawn cancelled , the manufacturer shall no longer describe the Ex equipment as "IECEx certified", nor shall he affix the IECEx Mark of Conformity* to the Ex equipment. Equipment already supplied prior to the cancellation of the Certificate is not affected.


IECEx 02 © IEC:9.17 Notification of cancellation

When an IECEx CoC has been cancelled withdrawn, the issuing ExCB shall notify the Secretary of the ExMC as soon as possible. Cancellation of Certificates shall be communicated to other ExCBs and published in the IECEx Bulletin.

* under development

10 Use of ExTRs and QARs for National Certification

10.1 General

For instances where separate local and/or national certification is required, the IECEx Equipment Certification Certified Equipment Scheme provides a fast track process through the acceptance of ExTRs and QARs. ExCBs shall accept, ExTRs and QARs issued by other ExCBs when issuing their own local and/or national certificates. This does not preclude a technical review by the receiving ExCB in accordance with ISO/IEC Guide 65. Any additional work carried out by the ExCB receiving an ExTR and QAR shall not go beyond the following, without first contacting the issuing ExCB:

a) verify compliance with local and/or national differences from the IEC Standards where those local and/or national differences have not been covered by the ExCB issuing the ExTR, and

b) adequately identify that the Ex equipment submitted for certification is that which is the subject of the ExTR and

c) verify compliance with local and/or national differences from IECEx reference document used for assessment of the quality system of the manufacturer where those local and/or national differences have not been covered by the ExCB issuing the QAR

10.2 National Certification

When an applicant applies to an ExCB for its national certification or approval of Ex equipment on the basis of an ExTR, a copy of the ExTR shall accompany the application. In addition, for the purposes of 10.1, the ExCB may request a sample of the Ex equipment and copies of the documentation referred to in the report for the purposes specified in10.1.

ExCBs shall inform the Secretary of any national certification requirements beyond those of gaining an IECEx CoC. Changes to such requirements shall be communicated to the Secretary as soon as possible, in order that such information is kept up to date.

10.3 Compliance with rules

The applicant shall follow the rules of procedure of the ExCB and shall confirm readiness to comply with all the relevant provisions regarding, for example, factory surveillance and payment of fees.

10.4 Invalid ExTR

The ExCB may refuse to recognize the ExTR when the Standard(s) or the amendments or editions of the Standard(s) according to which it was issued is (are) no longer valid in the country of the receiving ExCB. Such a change in validity shall have been notified in accordance with 7.4 and listed in the IECEx Bulletin as a national difference .

10.5 AppealsShould the ExCB receiving an ExTR or QAR for recognition consider it to have been issued in error, the ExCB that issued the Report(s) shall be informed as soon as possible. If the ExCBs involved arrive at different conclusions, the case may be referred to the Board of Appeal. Should a manufacturer or applicant be refused the issuing of an ExTR, QAR or


IECEx 02 © IEC:IECEx CoC or be the subject of suspension, or cancellation of an IECEx CoC and disagree with this decision may lodge an appeal to the IECEx Board of Appeal.

11 Acceptance of certification bodies and testing laboratories

NOTE - When an application is made for acceptance of a certification body that intends to employ already accepted ExTLs, assessment is made according to this clause. Applications for acceptance of a certification body and an associated testing laboratory may be submitted together or as one combined application, and assessment according to 11.1 and 11.2 may be combined.

11.1 Acceptance of certification bodies

11.1.1 Conditions for acceptance

A certification body shall be accepted as an ExCB by the ExMC and given the right to issue IECEx CoC, ExTRs and QARs to specified Standards, under the following conditions and according to the procedures stipulated in 11.1.2 to 11.1.14:

a) the certification body shall be located in a participating country;

b) the certification body shall operate a recognized certification or approval scheme at national level for the specified types of protection;

c) the competence of the certification body to comply with these Rules shall be demonstrated by assessment. The general competence, efficiency, experience, familiarity with the relevant Standards and the types or concepts of protection included in those Standards and competence to carry out quality management system assessments as well as compliance with ISO/IEC 65 shall be assessed. Acceptance in another IEC Scheme or accreditation by a recognized national accreditation body shall be taken into account. In those cases, the ExMC shall decide upon the extent of the assessment that is necessary;

d) the certification body shall have within its organization, or have an agreement to employ, an ExTL accepted by the ExMC according to these Rules for the relevant types of protection.

11.1.2 Application

The candidate certification body, via the national Member Body of the IECEx Scheme, shall make an application for the acceptance of a certification body for one or more Standards accepted for use in the IECEx Equipment Certification Certified Equipmen t Scheme.

The application shall be submitted to the Secretary of the ExMC and shall be accompanied by a declaration as detailed in Annex B .

Where, separate national certification or approval is required in a country as a condition to supply a product for use in that country, the candidate certification body shall declare that the national certification or approval can be based on an ExTR. When national differences or other conditions have to be fulfilled, they shall be as declared by the Member Body of the IECEx Scheme and published in the IECEx Bulletin. There shall not be more than one set of national differences for each country.

11.1.3 Recognition of ExTRs

The candidate certification body shall communicate the following information relevant to the recognition of ExTRs to the Secretary of the ExMC:

written information on procedures and rules for certification or approval at national level;

whether or not a foreign manufacturer is required to make application for certification or approval through a representative resident in that country.


IECEx 02 © IEC:11.1.4 Assessment

The candidate certification body shall be assessed to determine that the conditions according to 11.1.1 are fulfilled. Three a A ssessors appointed by the ExMC shall carry out the assessment. The team shall be led by a Lead Assessor appointed by the ExMC and shall include at least one member drawn from an ExCB.

When a testing laboratory is to be assessed on the same occasion, the assessment team shall may include a member from an ExTL.

Assessors with prior experience working in an ExCB or ExTL and whose knowledge of Standards and Certification matters is current may be used.

The candidate shall be given the names and current appointments of the assessors proposed to be appointed by the ExMC. Candidates may object "for cause" (reasons to be stated) to the appointment of the assessors.

The candidate to be assessed shall express its willingness to pay the professional fees of the assessors, the amount to be decided by the ExMC, and the reasonable travelling and living expenses arising from the assessment. An estimate of these expenses shall be provided to the candidate in advance and agreed by the candidate.

IECEx Assessment Teams shall report to the Secretary of the ExMC who shall manage all assessments, including the appointment of assessors, to ensure assessments are carried out in a timely manner and in accordance with the requirements of the Scheme.

11.1.5 Resolution of differences

During the assessment, the assessors shall prepare a draft report that shall be discussed with the management of the candidate certification body. Efforts should be made to resolve any differences of opinion between the assessors and the candidate during this discussion.

11.1.6 Report to ExMC

The assessors shall submit to the ExMC, with a copy to the representatives of the candidate certification body, a confidential report containing their findings and recommendations, taking into account the declaration submitted together with the application. The candidate may attend an ExMC meeting or submit written comments in order to respond to enquiries regarding its application.

11.1.7 Acceptance

The ExMC shall decide upon the acceptance of the candidate certification body at a meeting or by correspondence. In the latter case, the decision shall be reported to the next meeting of the ExMC and recorded in the minutes.

11.1.8 Notification

If the decision of the ExMC is positive, the Secretary of the ExMC shall inform the candidate certification body in writing.

If the decision of the ExMC is negative, the Chairman of the ExMC may, depending on the findings, suggest to the candidate certification body

a) to withdraw the application, or

b) to accept a new assessment.


IECEx 02 © IEC:11.1.9 Changes

Each ExCB shall inform the Secretary of the ExMC about changes in the information given according to 11.1.2 and 11.1.3.

11.1.10 Extension of scope

When an ExCB wishes to extend its acceptance to further Standards accepted for use in the IECEx Equipment Certification Certified Equipment Scheme, an application shall be made to the Secretary of the ExMC via the Member Body of the IECEx Scheme. When the ExCB has been assessed within the last five years, the members of the Assessment Team that assessed the ExCB should give their comments on the application.

The ExMC shall decide whether the extension can be accepted on the basis of the information thus available, or whether a full or limited assessment will be needed.

The matter shall either may be submitted to a meeting of the ExMC for decision or handled according to 11.1.11.

11.1.11 Reporting of decisions

The ExMC may delegate the decisions according to 11.1.10 to the Chairman and Vice-Chairman of the ExMC to be made by correspondence between meetings. Such a decision shall be reported to the next meeting of the ExMC and recorded in the minutes.

11.1.12 Re-assessment

By means of re-assessment to the extent and frequency deemed necessary, the ExMC shall verify whether ExCBs are still fulfilling the conditions of 11.1.1.

11.1.13 Withdrawal from the IECEx Equipment Certification Scheme

An ExCB wishing to withdraw from the IECEx Equipment Certification Scheme shall notify the Secretary of the ExMC via the Member Body of the IECEx Equipment Certification Scheme at least one year in advance and shall indicate the reason for the withdrawal and the date from which the withdrawal will become effective.

11.1.14 Suspension

The acceptance of an ExCB may be suspended or withdrawn by the ExMC if that ExCB no longer fulfils the conditions of 11.1.1 or if in the opinion of the ExMC, the ExCB hampers the aim, operation or development of the IECEx Equipment Certification Certified Equipment Scheme, fails to take action regarding misuse of IECEx CoC or the IECEx Mark of Conformity*, or violates these Rules. Before such a decision is made, the ExCB shall be given the opportunity to take corrective action over a period of six months and state its own opinion on the matter.

A decision to suspend or withdraw the acceptance of an ExCB shall require agreement at a meeting of the ExMC by a majority of at least four fifths of the total number of members. Members not attending that meeting shall have the right to cast their vote in writing by registered mail to the Secretary of the ExMC prior to the meeting.

In case of a suspension or a withdrawal, the certification body in question shall not be allowed to claim any relationship with the IECEx Equipment Certification Scheme.

11.2 Acceptance of Ex testing laboratoriesNOTE - Applications for acceptance of a certification body and an associated testing laboratory may be submitted independently or as one combined application, in which case assessment according to 11.1 and 11.2 may be combined.


IECEx 02 © IEC:11.2.1 Conditions for acceptance

Acceptance of an Ex testing laboratory as an ExTL is subject to the following conditions and to the procedures stipulated in 11.2.2 to 11.2.11:

a) the Ex testing laboratory shall be located in a participating country;

b) an Ex testing laboratory can operate as an ExTL if it is integral with an ExCB, under the complete technical and legal control of an ExCB or has a written agreement with an ExCB to undertake work with it according to these Rules;

c) the competence of the assessment and testing laboratory shall be demonstrated by assessment. The general competence, efficiency, experience, familiarity with the relevant Standards and the types of protection included in those Standards as well as compliance with ISO/IEC 17025 and the IECEx Technical Guidance Documents shall be assessed. Acceptance in another IEC Scheme or accreditation by a recognized national accreditation body shall be taken into account. The ExMC shall decide upon the extent of the assessment that is necessary.

11.2.2 Application

An application for the acceptance of a laboratory as an ExTL for assessment and testing according to one or more Standards accepted for use in the IECEx Certified Equipment Scheme shall be made by the candidate assessment and testing laboratory, via the Member Body of the IECEx Management Committee Scheme .

The application shall be submitted to the Secretary of the ExMC and shall be accompanied by a declaration as detailed in Annex C.

11.2.3 Assessment

The candidate testing laboratory shall be assessed to determine that the conditions according to 11.2.1 are fulfilled. Three a A ssessors appointed by the ExMC shall carry out the assessment. The assessment team shall be led by a Lead Assessor appointed by the ExMC and shall include one member from an ExCB and one member from an ExTL.

Assessors with prior experience working in an ExCB or ExTL and whose knowledge of Standards and Certification matters is current may be used

When the laboratory is integral with a candidate certification body, or is to be assessed on the same occasion as a candidate certification body, a combined assessment team of three persons may be appointed.

The candidate shall be given the names and current appointments of the assessors proposed to be appointed by the ExMC. Candidates may object "for cause" (reasons to be stated) to the appointment of the assessors.

The laboratory to be assessed shall express its willingness to pay the professional fees of the assessors, the amount to be decided by the ExMC, and the reasonable travelling and living expenses arising from the assessment. An estimate of these expenses shall be provided to the candidate in advance and agreed by the candidate.

The Secretary of the ExMC shall manage the assessment process, including the appointment of assessors.

11.2.4 Resolution of differences

During the assessment, the assessors shall prepare a draft report that shall be discussed with the management of the candidate assessment and testing laboratory. Efforts should be made to resolve any differences of opinion between the assessors and the candidate during this discussion.


IECEx 02 © IEC:11.2.5 Report to ExMC

The assessors shall submit to the ExMC Secretary, with a copy to the representatives of the candidate assessment and testing laboratory, a confidential report containing their findings and recommendations, including the level of the ExTR review, as per 11.2.123, taking into account the declaration submitted together with the application. The candidate may attend an ExMC meeting or submit written comments to respond to enquiries regarding its application.

11.2.6 Acceptance

The ExMC shall decide upon the acceptance of the candidate Ex testing laboratory at a meeting or by correspondence. In the latter case, the decision shall be reported to the next meeting of the ExMC and recorded in the minutes.

11.2.7 Notification

If the decision of the ExMC is positive, the Secretary of the ExMC shall inform the candidate assessment and testing laboratory in writing. If the decision of the ExMC is negative, the Chairman of the ExMC may, depending on the findings, suggest to the candidate assessment and testing laboratory

a) to withdraw the application, or

b) to accept a new assessment.

11.2.8 Extension of scope

When an ExTL wishes to extend its acceptance to further Standards accepted for use in the IECEx Certified Equipment Equipment Certification Scheme, an application shall be made to the Secretary of the ExMC via the Member Body of the IECEx Equipment Certification Scheme. When the ExTL has been assessed within the last five years, the members of the Assessment Team that assessed the ExTL should give their comments on the application.

The ExMC shall decide whether the extension can be given on the basis of the information thus available, or whether a full or limited assessment will be needed.

The matter shall be submitted to the ExMC for decision at a meeting or handled according to 11.2.9.

11.2.9 Reporting on decisions

The ExMC may delegate the decisions according to 11.2.8 to the Chairman and Vice-Chairman of the ExMC to be made by correspondence between meetings. Such a decision shall be reported to the next meeting of the ExMC and recorded in the minutes.

11.2.10 Re-assessment

By means of re-assessment and comparative assessment and testing to the extent and frequency deemed necessary, the ExMC shall verify whether the ExTLs are still fulfilling the conditions of 11.2.1.

11.2.11 Suspension

The acceptance of an ExTL may be suspended or withdrawn by the ExMC if that ExTL no longer fulfils the conditions of 11.2.1 or if it violates these Rules. Before such a recommendation is made, the ExTL shall have the opportunity to take corrective action over a period of six months and state its own opinion on the matter.

In case of a suspension or a withdrawal, the assessment and testing laboratory in question shall not be allowed to claim any relationship with the IECEx Equipment Certification Scheme.


IECEx 02 © IEC:11.2.12 ExTR Review

As a means of ensuring confidence, among Scheme Members, newly accepted ExTLs shall submit a copy of the first completed ExTR to the ExMC Secretary who will arrange for it to be reviewed. The outcome of this review may require corrective actions to be undertaken by the ExTL and review of further ExTRs.

12 IECEx publications

12.1 Types of publications

Three publications shall be produced:

the IECEx Register;

the IECEx Bulletin;

the IECEx Newsletter.NOTE - The ExMC may decide to issue the publications in electronic format and may be contained within an IECEx Internet Website. The Register and Bulletin may be produced as one publication.

12.2 Information to be available

The following information shall be made readily available, to the public.

ExCBs and ExTLs,

manufacturers holding IECEx CoCs,

IECEx CoCs issued,

categories of Ex equipment covered by the IECEx Equipment Certification Certified Equipment Scheme, and

Standards accepted for use in the IECEx Equipment Certification Certified Equipment Scheme.

12.3 IECEx Bulletin

The IECEx Bulletin shall be issued at intervals decided by the ExMC. It shall contain information on

the IEC Standards for which ExCBs in each country have declared recognition of ExTRs,

national differences from each IEC Standard for each country as declared by the Member Bodies of the IECEx Scheme,

important rules in addition to the content of the IEC Standards which have to be fulfilled in the countries during the transitional period,

the IEC Standards for which ExCBs in each country are authorized to issue IECEx CoCs,

the operation of the IECEx Scheme, to assist the applicants, and IECEx CoCs withdrawn.

12.4 IECEx Newsletter

The IECEx Newsletter shall be used to publicise developments within the IECEx Scheme, including new ExCBs and ExTLs joining the IECEx Equipment Certification Certified Equipment Scheme, matters relating to relevant IEC Standards and changes in the Rules.


IECEx 02 © IEC:12.5 Source of information

The information published in the IECEx publications is based on information given by the Member Bodies of the IECEx Equipment Certification Scheme, ExCBs and ExTLs. Neither the IEC nor the Secretary of the ExMC is therefore liable for the accuracy of that information. Publication of commercial information shall be avoided.

13 Complaints

If there are complaints concerning the actions of an ExCB or an ExTL that the ExMC cannot resolve, the ExMC or the complainant shall have the right to request the CAB to take appropriate action.


IECEx 02 © IEC:Annex A

Application from a candidate Member Body of the IECEx Scheme to become a participating country in the IECEx Equipment Certification

Scheme

The application from a candidate Member Body of the IECEx for its country to become a participating country in the IECEx Scheme shall be a self -contained document including the following information:

a) the name of the country;

b) the name and address of the candidate Member Body of the IECEx Scheme;

c) the legal status of the candidate Member Body of the IECEx Scheme;

d) the IEC standard(s) for which participation is sought;

e) the national standard(s) corresponding to the IEC standard(s) listed in d);

f) any national differences from the IEC standard(s);

g) whether or not IECEx CoCs are accepted in the country;

h) details of any national differences to the IEC Standards, covered by the IECEx Scheme and details of any national certification or approval that may be required in addition to an IECEx CoC;

i) an undertaking that the applicant will abide by the Rules and use its best endeavours to assist in the achievement of the aims and objectives of the IECEx Scheme.:

j) Annex E contains a copy of ExMC/46B/Q IECEx Application to become a participating country in the IECEx Scheme.


IECEx 02 © IEC:Annex B

Declaration by a certification body applyingto become an Ex Certification Body to operate within the IECEx

Equipment Certification Scheme

( Drafting Note: A proposal has been made that all Application forms contained in the Annexes be removed from this Standard and made available as Operational Documents)

The declaration by a certification body applying to become an Ex Certification Body (ExCB) shall be a self-contained document including the following information:

a) a description of the body which gives, in addition to an organization chart, information about

the legal status of the body,

the address(es) at which it carries out its operations,

the means by which the body will demonstrate compliance with ISO/IEC Guides 62 and 65,

any legal relationship between the body and testing laboratory(ies) used in the course of its work (including the case where the laboratory is integral with the certification body),

the responsibilities at national level concerning certification, and the schemes operated,

the arrangements for appeal,

the arrangements for recognition of IECEx Certificates of Conformity (IECEx CoCs), IECEx Ex Test Reports (ExTRs) and IECEx Quality Assessment Reports (QARs) when issuing its own national or regional certificates.

the documents available for providing supporting information, for example with regard to existing accreditation;

Details of Senior Management with competence in the certification of Ex equipment

b) a list of the Standards accepted for use in the IECEx Equipment Certification Scheme according to which the body wishes to issue IECEx CoCs;

c) a statement that the body will recognize ExTRs and QARs produced by other ExCBs when issuing its national or regional certificates or approvals;

d) a list of the standards accepted for use in the IECEx Equipment Certification Scheme, including details of the edition and amendments if any, which are accepted in whole or in part by the body when issuing its national or regional certificates or approvals. Where national differences from the IEC Standards exist, these shall be declared for later publication in the IECEx Bulletin;

e) a statement of the number of certificates issued in the preceding two years for each type of protection covered by the Standards listed in b) and d);

f) a statement that the body will abide by the Rules.


IECEx 02 © IEC:Annex C

Declaration by a testing laboratory applyingto become an IECEx Testing Laboratory


The declaration by a testing laboratory applying for acceptance as an Ex Testing Laboratory shall be a self-contained document including the following information:

a) a description of the laboratory, which gives, in addition to an organization chart, information about

relationship between the laboratory and the relevant Ex Certification Body or Accepted Certification Bodies,

the legal status of the laboratory,

the address(es) at which it carries out its operations,

the responsibilities concerning assessment and testing,

the means by which the laboratory will demonstrate compliance with ISO/IEC 17025, and

the documents available for providing supporting information, for example with regard to existing accreditation;

b) a list of the Standards accepted for use in the IECEx Equipment Certification Scheme according to which the laboratory intends to conduct tests;

c) the information required in annex D;

d) a statement of the number of test reports issued in the preceding two years for each type of protection covered by the Standards listed in b);

e) a statement that the laboratory will abide by the Rules.

f) Annex E contains a copy of ExMC/48B/Q Application for a testing laboratory to become an IECEx Testing Laboratory in the IECEx Scheme


IECEx 02 © IEC:Annex D

Additional information to be provided by a testing laboratory in applying for acceptance as an ExTL


NOTES

1. The text of this annex is taken from the annex to ISO/IEC Guide 38 1983 which is now obsolete.

2. Throughout the text, the word "recognition" should be taken to mean "acceptance" in the context of the IECEx Scheme.

D.1 Testing Laboratory contact details

Applicant's name and address:

Telephone No:

Telefax No:

D.2 ExTL site contact details

Testing Laboratory name and address (if different from paragraph 1):

Telephone No:

Telefax No:

D.3 Senior management

D.3.1 Senior executives

Names and titles of the senior executives of the Test Laboratory* and of the assessment and testing laboratories for which recognition is being sought:

D.3.2 Quality management system representatives

Name and title of the person responsible for the Quality Management System in the testing laboratory:

D.3.3 Principal contact

Name and title of the principal contact nominated by the and testing laboratory, and of his deputy:

D.3.4 Organisination chart

Operating departments of the testing laboratory for which recognition is being sought. (Show on a separate sheet to be attached either as a list or as an organization chart of the Testing Laboratory.)

D.4 Employees

D.4.1 Total numbers

Total number in Testing Laboratory

* "Test Laboratory" refers here to the corporate entity having final authority over the " testing laboratory" seeking recognition. In some cases this may be the same body.


IECEx 02 © IEC:D.4.2 Ex testing personnel

Total number in the testing laboratory for which recognition is being sought:

D.4.3 Professional qualifications

Total number of professionally qualified staff (see also ISO/IEC 17025) in the area for which recognition is being sought:

D.5 Equipment

List on a separate sheet the major items of test equipment available for use in the area for which recognition is being sought.

D.6 Test facilities and services

D.6.1 Testing services

List on a separate sheet the testing services for which recognition is being sought, indicating for each service any limits between which it will operate, and the published specifications against which the testing will be performed.

D.6.2 Existing recognitions

If recognition by other bodies or authorities is held in the area for which recognition is being sought, please give details.

D.6.3 Subcontract work

What type of testing is to be subcontracted in respect of the recognition being sought?

D.7 Other information

D.7.1 Relations with other organisations

Document, where applicable, how the testing laboratory may be related to external organizations or to components within its own parent organization.

D.7.2 Other information

Give any other information which you consider could be of assistance to the assessment team (on a separate sheet if necessary).

Yes/No Particulars(where appropriate)

D.8 Quality Management Policy

D.8.1 Quality policy

Are policy and procedures for the operation of the testing laboratory contained in a document such as a Quality Manual?

D.8.2 Responsibility and authority

Has the person responsible for quality management the responsibility and authority to identify quality problems and initiate effective solutions?


IECEx 02 © IEC:D.8.3 Unqualified staff

Does the Quality Manual contain procedures for the supervision of any unqualified staff (see also ISO/IEC 17025)?

D.8.4 Internal audits

Is there a prescribed audit procedure for checking quality management functions?

D.9 Work instructions

D.9.1 Access to documentation

Are manuals, work instructions and regulations to be used by staff readily available?

D.9.2 Change management

Is there a system for updating, implementing and recording changes to these documents?

D.9.3 Process control

Are documents available for each assessment and testing operation?

D.9.4 Document and data control

Are documents and reference data maintained in an up-to-date condition?

D.9.5 Obsolete data

Is obsolete data promptly removed from documents, etc.?

D.10 Personnel

D.10.1 Professional Standards

Have Standards of professional ability, skills and job descriptions been prescribed where necessary?

D.10.2 Training

Are training methods applied to attain and maintain skills with due attention to quality requirements?

D.11 Test equipment and calibration

D.11.1 Accuracy of measurements

Does the Quality Management System specify that the equipment is of accuracy compatible with the assessment and testing undertaken?

D.11.2 List of test equipment and calibration status

Is a record maintained of all test equipment, including calibration results?

D.11.3 Test environment

Are facilities and appropriate environments provided for calibration, handling, control, storage and maintenance of all testing and measuring equipment?


IECEx 02 © IEC:D.11.4 Calibration proceduresAre there documented procedures for calibrating all equipment and reference Standards, which include method, periodicity, sealing after calibration, etc.?

If not, explain calibration system used:

D.11.5 Reference Standards

Are reference Standards used for calibration traceable to national or international Standards of measurement?

D.12 Testing procedures

D.12.1

Are testing methods and procedures recorded which are not called up in specifications, manuals, etc.?

Yes/No Particulars(where appropriate)

D.12.2

Are the environments in which tests are conducted and results recorded suitable to ensure their accuracy?

D.12.3

Do environmental testing facilities exist?

D.12.4

Is there control of access to the assessment and testing areas?

D.12.5

Is there a prescribed system for detecting deficiencies in testing and their causes, and for correcting unfavourable trends?

D.13 Handling and storage

D.13.1

Are work and inspection instructions prescribed and implemented for the handling, storage and return to the client of materials and samples?

D.13.2

Are appropriate storage areas arranged to prevent deterioration or damage to the products concerned?

D.13.3

Are storage methods prescribed, including special environments?

D.13.4

Are there procedures for the inspection of samples in storage?


IECEx 02 © IEC:D.13.5

Are storage areas accessible only to authorized persons?

D.13.6

Is provision made to ensure that all samples to be stored or returned to the client are adequately identified and labelled?

D.14 Records

D.14.1

Is there a prescribed system for recording the method and results of assessment and testing activities?

D.14.2

Are observations and calculations recorded and stored as to provide a permanent test record?

D.14.3

Are there arrangements for ensuring that records are current, complete, accurate and held confidential where required?

D.15 Test Reports

D.15.1

Do Test Reports contain all the information required for such by ISO/IEC 17025?

D.15.2

Is the testing laboratory prepared to make arrangements to send copies of Test Reports to the ExCB granting recognition, where required, on a strictly confidential basis?

D.16 Preparedness for assessment

D.16.1

Are you satisfied that you can meet all the requirements prescribed herein?

D.16.2

At what date will the assessment and testing laboratory be ready for assessment?

D.16.3

Is there any special urgency for assessment?

If so, what is the reason?


IECEx 02 © IEC:

Applicant's name:

...............................................................................................................

Signature of person authorized to sign for the Applicant:

...............................................................................................................

(Title).....................................................................................................

Date: ...............................................


IECEx 02 © IEC:

Application for assessment to become an testing laboratory

Name of applicant: Name and address of testing laboratory if different:

Address:

Name of contact: Name of contact:

Title: Title:

Test or series of tests for which recognition is sought:

The testing laboratory hereby agrees to undertake:

a) to conform to the requirements for a recognized testing laboratory;

b) to pay all costs connected with assessment and administration in the pre -recognition stage irrespective of whether or not recognition is granted.

Signed: ............................................................

............................................................ (Title)

Date: ............................................................
